ENS

SEC source: 0001209191-21-039177 · doc4.xml · nonDerivative · entry 2

KANE KERRY M · CIK 0001493257 · VP, Corporate Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,079.131

SEC source: 0001209191-21-039177 · doc4.xml · nonDerivative · entry 1

KANE KERRY M · CIK 0001493257 · VP, Corporate Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,345.131

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-21-033482 · doc4.xml · nonDerivative · entry 1

KANE KERRY M · CIK 0001493257 · VP, Corporate Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,115.131

F1 · shares: Shares were forfeited in connection with the vesting of Restricted Stock Units granted to the reporting person on August 13, 2018.

F2 · balance_after: Adjusted for previous arithmetic error.

SEC source: 0001209191-21-033491 · doc4.xml · nonDerivative · entry 1

O'Connell Shawn M. · CIK 0001772687 · Pres. Motive Power Global

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,622.0823

F1 · shares: Shares were forfeited in connection with the vesting of Restricted Stock Units granted to the reporting person on August 13, 2018.

F2 · balance_after: Adjusted for previous arithmetic error.

SEC source: 0001209191-21-031795 · doc4.xml · nonDerivative · entry 2

KANE KERRY M · CIK 0001493257 · VP, Corporate Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,414.0428

F2 · shares: Reflects the number of performance share units ("PSUs") surrendered in connection with the settlement of previously vested PSUs into shares of common stock.

SEC source: 0001209191-21-031795 · doc4.xml · nonDerivative · entry 1

KANE KERRY M · CIK 0001493257 · VP, Corporate Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,734.0428

F1 · shares: Shares were forfeited in connection with the vesting of restricted stock units granted to the reporting person on May 9, 2017.

SEC source: 0001209191-21-031800 · doc4.xml · nonDerivative · entry 2

Shaffer David M · CIK 0001577486 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,900.7143

F2 · shares: Reflects the number of performance share units ("PSUs") surrendered in connection with the settlement of previously vested PSUs into shares of common stock.

SEC source: 0001209191-21-031800 · doc4.xml · nonDerivative · entry 1

Shaffer David M · CIK 0001577486 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,131.7143

F1 · shares: Shares were forfeited in connection with the vesting of restricted stock units granted to the reporting person on May 9, 2017.

SEC source: 0001209191-21-031799 · doc4.xml · nonDerivative · entry 2

Schmidtlein Michael J · CIK 0001345053 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,815.0684

F2 · shares: Reflects the number of performance share units ("PSUs") surrendered in connection with the settlement of previously vested PSUs into shares of common stock.

SEC source: 0001209191-21-031799 · doc4.xml · nonDerivative · entry 1

Schmidtlein Michael J · CIK 0001345053 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,925.0684

F1 · shares: Shares were forfeited in connection with the vesting of restricted stock units granted to the reporting person on May 9, 2017.

SEC source: 0001209191-21-031798 · doc4.xml · nonDerivative · entry 2

O'Connell Shawn M. · CIK 0001772687 · Pres. Motive Power Global

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,883.9475

F2 · shares: Reflects the number of performance share units ("PSUs") surrendered in connection with the settlement of previously vested PSUs into shares of common stock.

SEC source: 0001209191-21-031798 · doc4.xml · nonDerivative · entry 1

O'Connell Shawn M. · CIK 0001772687 · Pres. Motive Power Global

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,163.9475

F1 · shares: Shares were forfeited in connection with the vesting of restricted stock units granted to the reporting person on May 9, 2017.

SEC source: 0001209191-21-026664 · doc4.xml · nonDerivative · entry 2

KATSAROS ARTHUR T · CIK 0001220007 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,407.1787

F2 · shares: This amount reflects a matching stock unit contribution by EnerSys for the reporting person's account in the Plan. The matching stock unit contribution vests 25% on each of July 12, 2021, October 12, 2021, January 12, 2022, and April 12, 2022. Such vesting is subject to acceleration or cancellation upon the occurrence of certain events.

F3 · balance_after: As a result of these transactions the reporting person has an additional 492 stock units in the Plan. Each of these stock units represents a right to receive one share of EnerSys common stock and is payable upon the reporting person's Termination, as defined in the Plan.

SEC source: 0001209191-21-026664 · doc4.xml · nonDerivative · entry 1

KATSAROS ARTHUR T · CIK 0001220007 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,325.1787

F1 · shares: In lieu of receiving cash fees, the reporting person received 410 stock units, which immediately vested, in the EnerSys Voluntary Deferred Compensation Plan for Non-Employee Directors (the "Plan").

SEC source: 0001209191-21-026653 · doc4.xml · nonDerivative · entry 2

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,924.5151

F2 · shares: This amount reflects a matching stock unit contribution by EnerSys for the reporting person's account in the Plan. The matching stock unit contribution vests 25% on each of July 12, 2021, October 12, 2021, January 12, 2022, and April 12, 2022. Such vesting is subject to acceleration or cancellation upon the occurrence of certain events.

F3 · balance_after: As a result of these transactions the reporting person has an additional 340 stock units in the Plan. Each of these stock units represents a right to receive one share of EnerSys common stock and is payable upon the reporting person's Termination, as defined in the Plan.

SEC source: 0001209191-21-026653 · doc4.xml · nonDerivative · entry 1

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,867.5151

F1 · shares: In lieu of receiving cash fees, the reporting person received 283 stock units, which immediately vested, in the EnerSys Voluntary Deferred Compensation Plan for Non-Employee Directors (the "Plan").

SEC source: 0001209191-21-026651 · doc4.xml · nonDerivative · entry 2

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,949.606

F2 · shares: This amount reflects a matching stock unit contribution by EnerSys for the reporting person's account in the Plan. The matching stock unit contribution vests 25% on each of July 12, 2021, October 12, 2021, January 12, 2022, and April 12, 2022. Such vesting is subject to acceleration or cancellation upon the occurrence of certain events.

F3 · balance_after: As a result of these transactions the reporting person has an additional 221 stock units in the Plan. Each of these stock units represents a right to receive one share of EnerSys common stock and is payable upon the reporting person's Termination, as defined in the Plan.

SEC source: 0001209191-21-026651 · doc4.xml · nonDerivative · entry 1

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,912.606

F1 · shares: In lieu of receiving cash fees, the reporting person received 184 stock units, which immediately vested, in the EnerSys Voluntary Deferred Compensation Plan for Non-Employee Directors (the "Plan").

SEC source: 0001209191-21-023580 · doc4.xml · nonDerivative · entry 1

Chan Caroline · CIK 0001819816 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,403.7461

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on March 26, 2021 to stockholders of record as of March 12, 2021 (the "Dividend"), with respect to 3,381 vested DSUs granted to the reporting person on August 17, 2020, and adjusted for previously and declared paid cash dividends. These DSUs are vested and payable concurrent with the underlying DSUs.

SEC source: 0001209191-21-023584 · doc4.xml · nonDerivative · entry 1

FLUDDER STEVEN M · CIK 0001674081 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,403.7461

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on March 26, 2021 to stockholders of record as of March 12, 2021 (the "Dividend"), with respect to 3,381 vested DSUs granted to the reporting person on August 17, 2020, and adjusted for previously and declared paid cash dividends. These DSUs are vested and payable concurrent with the underlying DSUs.

SEC source: 0001209191-21-023587 · doc4.xml · nonDerivative · entry 9

KANE KERRY M · CIK 0001493257 · VP, Corporate Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,035.0428

F9 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 3,714 unvested RSUs granted to the reporting person on August 17, 2020, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-21-023587 · doc4.xml · nonDerivative · entry 8

KANE KERRY M · CIK 0001493257 · VP, Corporate Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,028.6066

F8 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 986 PSUs granted to the reporting person on August 12, 2019, and adjusted for previously declared and paid cash dividends. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-21-023587 · doc4.xml · nonDerivative · entry 7

KANE KERRY M · CIK 0001493257 · VP, Corporate Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,026.8784

F7 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 806 PSUs granted to the reporting person on August 12, 2019, and adjusted for previously declared and paid cash dividends. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-21-023587 · doc4.xml · nonDerivative · entry 6

KANE KERRY M · CIK 0001493257 · VP, Corporate Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,025.4657

F6 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 2,597 RSUs granted to the reporting person on August 12, 2019, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-21-023587 · doc4.xml · nonDerivative · entry 5

KANE KERRY M · CIK 0001493257 · VP, Corporate Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,020.9138

F5 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 730 PSUs granted to the reporting person on August 13, 2018, and adjusted for previously declared and paid cash dividends. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-21-023587 · doc4.xml · nonDerivative · entry 4

KANE KERRY M · CIK 0001493257 · VP, Corporate Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,019.6217

F4 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 580 PSUs granted to the reporting person on August 13, 2018, and adjusted for previously declared and paid cash dividends. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-21-023587 · doc4.xml · nonDerivative · entry 3

KANE KERRY M · CIK 0001493257 · VP, Corporate Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,018.5951

F3 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 1,330 unvested RSUs granted to the reporting person on August 13, 2018, and adjusted for previously declared and paid cash dividends. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-21-023587 · doc4.xml · nonDerivative · entry 2

KANE KERRY M · CIK 0001493257 · VP, Corporate Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,016.241

F2 · shares: These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the Dividend, with respect to 601 unvested RSUs granted to the reporting person on May 9, 2017, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-21-023587 · doc4.xml · nonDerivative · entry 1

KANE KERRY M · CIK 0001493257 · VP, Corporate Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,015.1644

F1 · shares: These shares were granted in the form of Performance Share Units ("PSUs"), in connection with the cash dividend paid on March 26, 2021 to stockholders of record as of March 12, 2021 (the "Dividend"), with respect to 946 PSUs granted to the reporting person on May 9, 2017, and adjusted for vesting on May 9, 2020 and previously declared and paid cash dividends. These PSUs will be payable concurrently with the underlying PSUs.

SEC source: 0001209191-21-023582 · doc4.xml · nonDerivative · entry 1

Connors Nelda J · CIK 0001478748 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,301.0336

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on March 26, 2021 to stockholders of record as of March 12, 2021 (the "Dividend"), with respect to an aggregate of 13,007 vested DSUs granted to the reporting person on various dates, and adjusted for any previously declared and paid cash dividends. These DSUs are vested and payable concurrent with the underlying DSUs.

SEC source: 0001209191-21-023589 · doc4.xml · nonDerivative · entry 2

Magnus Robert · CIK 0001441604 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,594.1006

F2 · shares: These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the Dividend, with respect to an aggregate of 5,028 vested RSUs granted to the reporting person on various dates under the EnerSys Deferred Compensation Plan for Non-Employee Directors, and adjusted for previously declared and paid cash dividends. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-21-023589 · doc4.xml · nonDerivative · entry 1

Magnus Robert · CIK 0001441604 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,583.9347

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on March 26, 2021 to stockholders of record as of March 26, 2021 (the "Dividend"), with respect to an aggregate of 29,618 vested DSUs granted to the reporting person on various dates, and adjusted for previously declared and paid cash dividends. These DSUs are vested and payable concurrent with the underlying DSUs.

SEC source: 0001209191-21-023595 · doc4.xml · nonDerivative · entry 6

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,584.5151

F6 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on January 13, 2021. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-21-023595 · doc4.xml · nonDerivative · entry 5

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,584.4049

F5 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on October 20, 2020, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-21-023595 · doc4.xml · nonDerivative · entry 4

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,584.302

F4 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on July 15, 2020, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-21-023595 · doc4.xml · nonDerivative · entry 3

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,584.2344

F3 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on April 8, 2020, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-21-023595 · doc4.xml · nonDerivative · entry 2

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,584.1874

F2 · shares: These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the Dividend, with respect to vested RSUs granted to the reporting person on various dates under the EnerSys Deferred Compensation Plan for Non-Employee Directors (the "Plan"), and adjusted for previously declared and paid cash dividends. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-21-023595 · doc4.xml · nonDerivative · entry 1

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,573.9152

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on March 26, 2021 to stockholders of record as of March 12, 2021 (the "Dividend"), with respect to 12,614 vested DSUs granted to the reporting person on various dates, and adjusted for previously declared and paid cash dividends. These DSUs are vested and payable concurrent with the underlying DSUs.

SEC source: 0001209191-21-023597 · doc4.xml · nonDerivative · entry 5

Zogby Andrew M. · CIK 0001772719 · Pres. Energy Systems Global

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,968.7733

F5 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 5,969 RSUs granted to the reporting person on August 17, 2020, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-21-023597 · doc4.xml · nonDerivative · entry 4

Zogby Andrew M. · CIK 0001772719 · Pres. Energy Systems Global

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,958.4294

F4 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 3,946 unvested PSUs granted to the reporting person on August 12, 2019, and adjusted for a previously declared and paid cash dividend. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-21-023597 · doc4.xml · nonDerivative · entry 3

Zogby Andrew M. · CIK 0001772719 · Pres. Energy Systems Global

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,951.513

F3 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 3,223 unvested PSUs granted to the reporting person on August 12, 2019, and adjusted for a previously declared and paid cash dividend. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-21-023597 · doc4.xml · nonDerivative · entry 2

Zogby Andrew M. · CIK 0001772719 · Pres. Energy Systems Global

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,945.8639

F2 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 2,597 RSUs granted to the reporting person on August 12, 2019, and adjusted for a previously declared and paid cash dividend. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-21-023597 · doc4.xml · nonDerivative · entry 1

Zogby Andrew M. · CIK 0001772719 · Pres. Energy Systems Global

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,941.3119

F1 · shares: These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the cash dividend paid on March 26,2021 to stockholders of record as of March 12, 2021 (the "Dividend"), with respect to 6,155 unvested RSUs granted to the reporting person on December 7, 2018, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-21-023594 · doc4.xml · nonDerivative · entry 6

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,728.606

F6 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on January 13, 2021. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-21-023594 · doc4.xml · nonDerivative · entry 5

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,728.4958

F5 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on October 20, 2020, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-21-023594 · doc4.xml · nonDerivative · entry 4

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,728.3891

F4 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on July 15, 2020, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-21-023594 · doc4.xml · nonDerivative · entry 3

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,728.3159

F3 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on April 8, 2020, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-21-023594 · doc4.xml · nonDerivative · entry 2

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,728.2651

F2 · shares: These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the Dividend, with respect to vested RSUs granted to the reporting person on various dates under the EnerSys Deferred Compensation Plan for Non-Employee Directors (the "Plan"), and adjusted for previously declared and paid cash dividends. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-21-023594 · doc4.xml · nonDerivative · entry 1

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,712.1843

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on March 26, 2021 to stockholders of record as of March 12, 2021 (the "Dividend"), with respect to 18,321 vested DSUs granted to the reporting person on various dates, and adjusted for previously declared and paid cash dividends. These DSUs are vested and payable concurrent with the underlying DSUs.

SEC source: 0001209191-21-023592 · doc4.xml · nonDerivative · entry 9

Shaffer David M · CIK 0001577486 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,458.7143

F9 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 27,855 unvested RSUs granted to the reporting person on August 17, 2020, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.